Records Management Guide to Document Retention

RECORDS MANAGEMENT

YOUR GUIDE
TO DOCUMENT
RETENTION
Controlling your documents
as part of your records
management policy

DATA STORE. DATA SORTED.
www.saracendatastore.co.uk

DATASTORE.
DATA SORTED.
Controlling your ComplianCe - Do you aCCess
DoCuments as part Comply with Current
Fast and efficient access to records
of your reCorD praCtiCes?
and documents is key to an organisation
management poliCy
The Freedom of Information Act 2000, looking streamlined and professional
Records and the information contained the Data Protection Act 1998 and the UK and this can only be achieved when
within them are crucial to any organisation Financial Services and Markets Act – how documents are catalogued, labelled
and the retention of them is vital, bringing to manage your records require good and stored well, thus improving
with it the problem of storage and quality information management and efficiency and productivity.
management retention schedules to facilitate finding
the required information and ensuring
An efficient document storage and record the Cost of spaCe
the information is not kept for longer than
management system starts from the in- anD time?
necessary.
house creation of a document through to
its final destruction or permanent storage, Office space is a valuable asset, too
combined with ease of access when and retention sCheDule valuable an asset to clutter up with file
if a document is required. storage. A good Record Management
A retention schedule/inventory should list Policy will make organising your files
After a short period of activity documents documents and records, and distinguish easy and facilitate speedy location and
and records, although inactive, need to differences, the retention period retrieval of the documents required.
be retained for a period of time leading necessary and disposition required.
to disposition (final destruction or Using a professional Document Storage
permanent storage). A retention period gives advice on the & Record Management company can
length of time a particular document or ease this problem, giving faster and
record should be kept. These retention easier access to documents and records,
periods are in accordance with various whilst freeing up your valuable office
Acts and Regulations, Company Policies space for more appropriate income
and Audit practices. generating activities.

Saracen Datastore Limited
Tel 0800 740 8700 Unit 4-6, Leatherhead Trade Park,
Station Road, Leatherhead KT22 7AG
sales@saracendatastore.co.uk

EXPERT
SERVICES
free reCorDs management fleXiBle solutions high teCh solutions
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This important planning stage is all your business take your pick from: Inc, Saracen aim to always push the
too often missed as it perceived as an boundaries of the technology we use,
active storage For records with
expensive extra. Take advantage of a maintaining our position at the forefront of
regular access and live filing with rapid
Free Audit from Saracen to ensure you are the records management industry. We are
response times.
starting in the right place. We will review constantly testing new ways to make your
your internal and external systems and Deep storage Why pay a premium for Records Storage easier to manage.
provide you with the template to move records that have to be kept for regulatory
Barcode tracking system Point-to-
your records management to a new level and compliance reason but are rarely
Point tracking system with all movements
of effectiveness and efficiency. On top accessed or needed in an emergency.
and events surrounding any given record
of this we will be in a position to manage Start saving now:
being recorded and verified within our
your records better than any other
> 75% savings compared to London systems. Complete track and trace for the
provider as we understand your needs as
Office Space full lifecycle of your records.
well as you do.
> 65% savings compared to a Self 24-7 online Client access Through
tailormaDe Quotations Storage Facility Saracen’s RSWeb.Net client portal
By fully understanding your requirements customers can create, manage and
> 40% savings compared to a Document
we can personalise the solution on action service requests for all stored and
Storage Company in London.
offer to really target the areas of most pending records.
importance to you. Delivering an efficient, > Retrievals are still available on a 48hr,
gprs & real-time updates All
compliant records management service Next and Same Day Basis.
drivers are kitted out with the latest GPRS
and more importantly delivering peace file & Document management Only Mobile scanner devices that allow critical
of mind. We do not provide off the shelf touch and move the records you need delivery and pickup information to be
solutions only solutions to truly meet your recorded and processed in real-time via
own needs. gas protected fire Vaults For wills, GPRS.
deeds, contracts and other business
full transition planning critical documentation electronic receipts Sign for your
anD management record deliveries and pickups on screen
scheduled and ad-hoc Deliveries and receive the receipt in your inbox.
Let Saracen take the strain of the transition An extensive range of response times
process. Whether you’re moving available to suit – all carried out by a email notification Receive
boxes from your own internal archives team of uniformed, security vetted critical information including receipts,
or transferring records on mass from drivers, transporting the records in one workorders and even invoices direct
another supplier, Saracen will create of our satellite tracked vehicles. Saracen to your inbox. Be informed when your
a plan tailored to suit the requirement can meet your Retrieval requirements. records have been delivered and see
and manage that plan in its entirety. Our a copy of the signed workorder within
extensive experience of transfers enables
retention and Destruction seconds of the delivery taking place.
Saracen to ensure your Records are fully
policies Saracen can automate your
Retention Policies so that your Records imaging For highly accessed key
audited during the process. No fuss. No
are destroyed at the right time saving you documentation utilise our scanning
hassle.
money and ensuring compliance.. service with instant access to scanned
records via RSWeb.Net
seCure, moDern scan on Demand services Retrieve
reCorD Centres vital record information straight to your
Facilities boasting RedCare (Fire & inbox within minutes
Intruder) alarm monitoring; Digital CCTV take a step in
coverage; Proximity Fob Access Controls; the right DireCtion
4hr Fire Protected Vaults across multiple
storage locations in Leatherhead, Milton Datastore. Data sorteD.
Keynes and Sittingbourne.
Tel 0800 740 8700

ThE DATA
PROTECTIOn
ACT (1998)
the purpose prinCiples of Data
proteCtion
The purpose of the Act is to protect the
rights of the individual about whom The Act is based on eight principles
data is obtained, stored, processed or stating that data must be:
supplied rather than those of the people
> Fairly and lawfully processed
or organisations who control and use
personal data. The Act applies to both > Processed for limited purposes
computerised and paper records.
> Adequate, relevant and not excessive
The Act requires that appropriate
> Accurate
security measures will be taken against
unauthorised access to, or alteration, > Not kept longer than necessary
disclosure or destruction of personal data
> Processed in accordance with the
and against accidental loss or destruction
data subjects rights
of personal data.
> Secure

the 1998 aCt applies to: > Not transferred to other countries
without adequate protection
> Computerised personal data
> Personal data held in structured
manual files
It applies to anything at all done to
personal data (“processing”), including
collection, use, disclosure, destruction
and merely holding data.


fREEDOm Of
InfORmATIOn
what is freeDom of what Does foi apply to?
information?
FOI applies to information, whatever its
This area explains your rights under the age, and whether it is at The National
Freedom of Information (FOI) Act and Archives or is still held by the originating
how the act may affect your research government department. The previously
when using the archives. There is a applied 30-year standard closure period
separate section for records managers no longer determines access to records;
and archivists. instead, information is assumed to be
The Freedom of Information Act, see ‘open’ right from the start unless one
www.opsi.gov.uk/acts/acts2000/ of the exemptions set out in the FOI Act
ukpga_20000036_en_1 was passed in applies.
November 2000 and came fully into effect Exemptions are grounds to withhold
from 1 January 2005. FOI has changed information, see www.dca.gov.uk/foi/
how records are made available to you, guidance/exsumm/index.htm They are
and how we respond to enquiries about clearly defined in the Act, are limited in
the archives. number and are usually used where some
FOI gives people a right of access to harm might result if the information were
information held by public bodies. The to be released.
range of public bodies covered by There are separate Environmental
FOI is very wide, ranging from central Information Regulations, see www.
government departments to individual nationalarchives.gov.uk/foi/
schools and parish councils. A full list of environmental.htm giving similar rights of
the bodies affected – FOI authorities – can access to environmental information.
be found in Schedule 1 of the act. The
list includes The National Archives and
the rights of access apply to our own
administrative records as well as to the
archives (the records transferred to us
from other government departments).
A separate act covers public authorities
in Scotland – the Freedom of Information
(Scotland) Act 2002, see www.opsi.
gov.uk/legislation/scotland/acts2002/
asp_20020013_en_1


DOCumEnT AnD RECORD
RETEnTIOn guIDE
(Taken from the Institute of Chartered Secretaries and Administrators
Director’s Guide 3rd Edition 2008)
The information within this publication is provided for guidance
purposes and on the understanding that Saracen Datastore can not be
held responsible for any inaccuracies. The information contained herein
should not be relied or acted upon and advice should be sought from
the relevant competent professional advisor.

type of DoCument statutory minimum reCommenDeD
retention perioD perioD of retention

inCorporation DoCuments
Certificate of Incorporation and Certificates on Change of Name N/A Permanently
Certificate to commence business (Public Company) N/A Permanently
Memorandum and Articles of Association (original and updated copies) Permanently Permanently
Printed copies of resolutions submitted to Companies House Permanently Permanently

statutory returns, reCorDs anD registers
Annual Return (copy) N/A Permanently
Return of Allotments (copy) N/A Permanently
Directors’ Service Contracts 6 years after cessation 6 years after cessation
Register of Directors and Secretaries (original) Permanently Permanently
Register of Directors’ interests in Shares and Debentures Permanently Permanently
Register of interests in voting shares Permanently Permanently
Register of Charges Permanently Permanently
Register of Documents sealed (if applicable) N/A Permanently
Unpaid dividend records N/A 12 years after dividend declared
Dividend and interest mandate forms N/A 3 years from when the instruction
ceased to be valid
Notification of address change by member N/A 2 years after notification

share registration DoCuments
Register of Members Permanently Permanently
Register of Debentures and Loan Stock holders N/A Permanently / 7 years after
redemption of stock
Letters and forms applying for Shares, Debentures etc. N/A 12 years from issue, with a
permanent microfilmed record
Renounceable Letter of Allotment and Acceptances N/A Originals for 12 years from
renunciation, with a permanent
microfilmed record
Renounced Share Certificates N/A Originals for 12 years from
renunciation, with a permanent
microfilmed record



Contracts for purchase of own shares by Company N/A 10 years from date of contract
Share & Stock Transfer forms N/A 12 years after date of transfer,
and Letter of Request with permanent microfilmed record
Requests for designating or redesign ting accounts N/A 12 years after request,
with permanent microfilmed record
Cancelled share/stock Certificate N/A 1 year from date of cancellation
Stop Notice and other Court Orders N/A Permanently
Letters of indemnity for lost Certificates N/A Permanently
Powers of Attorney N/A Permanently
Dividend and interest payment lists N/A Until audit of the dividend
payment is complete
Paid dividend and interest warrants N/A 6 years after date of payment

Bank reCorDs
Cheques, bills of exchange and other negotiable instruments N/A 6 years
Paying-in counterfoils N/A 6 years
Statements from and instructions to the bank N/A 6 years after ceasing to be
effective

aCCounting anD taX reCorDs aCCounting reCorDs (as reQuireD By Ca 1985 s222)
Public Company 6 years 10 years
Limited Company 3 years 10 years
Annual report and accounts (signed) N/A Permanently
Annual report and accounts (unsigned) N/A Permanently (keep sufficient
copies to meet requests)
Interim report and accounts N/A Permanently (keep sufficient
copies to meet requests)
Budgets, forecasts and periodic i internal financial reports N/A 5 years
Taxation records and tax returns Inspection possible up to Permanently
6 years after tax/accounting period
VAT records and Customs & Excise returns Inspection may be conducted up to 6 Permanently
years after tax/accounting period
Expense accounts N/A 7 years

Charity Donation DoCuments
Deeds of Covenant 6 years after last payment 12 years after last payment
Documents supporting entries in accounts for donations 3 or 6 years 6 years

ContraCts
Contracts executed under seal N/A 12 years after expiry
Contracts with customers, suppliers, agents or others N/A 6 years after expiry or contract
completion
Rental and hire purchase agreements N/A 6 years after expiry
Licensing agreements N/A 6 years after expiry
Trust deeds and rules (pension schemes) N/A Permanently



insuranCe
Public liability policies N/A Permanently
Product liability policies N/A Permanently
Employers’ liability policies 40 years Permanently
Sundry insurance policies and insurance schedules N/A Until claims under policy are
barred or 3 years after policy
lapses, whichever is longer
Group health policies N/A 12 years after final cessation of
benefit
Group personal accident policies N/A 12 years after final cessation of
Claims correspondence N/A 3 years after settlement benefit

health & safety
Record of consultations with safety representative and committees N/A Permanently
Health & Safety policy documents (old and revised copies) Implied permanently by Permanently
Health & Safety at Work Act (1974 S2(3)
Assessment of risks under health and safety regulations Until revised (Management Permanently (old and
(including routine assessment monitoring and maintenance of Health & Safety at Work current copies)
records for aspects in workplace such as air quality, levels Regulations 1992 S1 1992/2051)
of pollution, noise level, use of hazardous substances etc.)
Accident report book and relevant records/ correspondence 3 years from date of entry Permanently
(Health & Safety at Work Act 1974 S7)
Medical records - general N/A 12 years

employees reCorDs
Job applications and interview records N/A Up to 1 year
Personnel records N/A 7 years after employment
ceases, with permanent
microfilmed record
Senior executive records N/A Permanently
Training records N/A 6 years after employment ceases
Employment agreements N/A Permanently
Payroll and wage records
(including details of overtime, bonuses and expenses) 6 years 12 years
Salary records N/A 5 years
Time cards and piecework records N/A 2 years
Details of benefits in kind 6 years 12 years
Income tax records (P45/P60/P58/P48 etc.) 6 years 12 years
Annual return of taxable pay and tax paid 6 years 12 years
Labour agreements N/A 10 years after ceasing to be
effective
Works council minutes N/A Permanently
Employee records fro closed units Some 6 years 12 years



material with Copyright proteCtion
Literary, dramatic and musical works N/A Life plus 50 years
Artistic works, recordings, films, photos and broadcasts. N/A 50 years

pension sCheme DoCuments (unapproVeD sChemes)
Trust deeds and scheme rules N/A Permanently
Trustees’ minute books N/A Permanently
Record of pensioners N/A 12 years after cessation of benefit
Money purchase details N/A 6 years after transfer or value
taken
Pension scheme investment policies N/A 12 years after cessation of benefit
payable

pension sCheme DoCuments
(inlanD reVenue approVeD anD statutory pension sChemes)
Pension fund accounts and supporting documents 6 years from date of Permanently
accounts signed
Actuarial valuation reports 6 years from date of report signed Permanently
Inland revenue approvals N/A Permanently
Medical records - Radiation accident assessment 50 years Permanently
Medical records - Radiation dosage summary 2 years from end of Permanently
calendar year
Under control of Lead at Work Regulations 1998 2 years from date of Permanently
(replaced 1980 regulations) last entry to be effective
Under Control of Asbestos a Work Regulations 1987 40 years Permanently
Under Control of Substances Hazardous to Health
regulations 1994 9COSHH Regulations) 40 years Permanently

intelleCtual property reCorDs
Certificates of registration of trade/service marks (current and lapsed) N/A Permanently or 6 years
after cessation of registration
Documents evidencing assignment of trade/service marks N/A 6 years after cessation of
registration
Intellectual property agreements and licences N/A 6 years after expiry

property DoCuments
Title deeds for property N/A Permanently or until sold or
transferred
Leases N/A 12 years after lease and liabilities
under the lease have terminated


mEDICAl RECORDS
RETEnTIOn guIDE
type of reCorD minimum retention perioD

Admission/Discharge Books 8 Years
Audiology, Dietetic and Nutrition, District Nursing, Occupational Therapy,
Physiotherapy, Podiatry, Speech and Language Therapy 20 Years
Child Protection Registers 26 Years
Clinical Audit Records 5 Years
Dental Records 11 years Adults
Children up to their 25th Birthday
Diaries 3 Years
Family Planning Records 10 years
Children retain to their 25th Birthday
Health Visitor Records 10 Years or for
Children retain to their 25th Birthday
Health Records 8 Years
Immunisation and Vaccination Children – retain until their 25th Birthday
All others 10 years
Learning Difficulties 10 years after the death of the individual
Oncology 30 Years
Operating Theatre Registers 8 Years
Out of Hours Records 3 Years
Outpatients List 2 Years
Parent-Held Records Until the Patients 25th Birthday
Ward Registers 2 Years
X-Rays 8 Years
X-Ray Registers 30 Years
Board Meeting Reports 30 Years
Business Plans 20 Years
Catering forms 6 Years
Commissioning Decisions 6 Years from date of appeal decision
Complaints Correspondence 10 Years
Health & Safety Documents 3 Years
Incident Forms 8 Years
Manuals 10 Years
Meetings & Minutes 30 Years
Minor Paperwork (reminders , advertising etc) 2 Years
Quality Assurance Records 12 Years
Reports 30 Years
Incident Files 30 Years
Time Sheets 3 Years
Annual Accounts 30 Years
Accounts – Minor Records (cash books etc) 2 Years
Financial Contracts 15 Years
Medical Payments, Bacs Payments, Fraud Investigations, Invoices 6 Years
Personnel Records 6 Years


03725

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OR TO DISCUSS YOUR
SPECIFIC REQUIRMENTS:

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